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Chief Compliance Officer
The candidate will oversee all aspects of the firm’s compliance with these laws in addition to serving as legal expert on other business matters. Manage and administer all policies and procedures associated with Company’s regulatory compliance program. Prepare and submit all required regulatory filings and disclosure documents in a timely and accurate manner. Monitor and test the firm’s policies and procedures to determine the adequacy and ef...
Personal Financial Services Tax Director
The candidate will serve as a trusted advisor, providing guidance on the wide array of tax matters faced by our individual high net worth clients. PwCâ€™s Personal Financial Services practice is a national team of dedicated professional advisors who provide tax compliance, tax consulting, financial planning and other wealth enhancement services to high net worth individuals and their families across the US and internationally.
Risk Advisory - Regulatory Compliance Manager
The candidate will be conducting regulatory testing in AML, broker dealer policies and procedures, and registered investment advisers. Will be managing engagements (including planning, execution, report preparation and final wrap up), conducting exit meetings, and assisting in preparation of reporting and related risk assessment completion. Understanding of registration requirements for broker/dealers, RIAs and CFTC registrants...
Personal Financial Services Director
Duties: As a member of Personal Financial Services practice, will serve as a trusted advisor, providing guidance on the wide array of tax matters faced by high net worth clients. Provide tax compliance, tax consulting, financial planning and other wealth enhancement services to high net worth individuals and their families across the US and internationally.
The candidate will handle corporate and debt collection litigation. Position may lead to possible stock ownership to one who proves their value to corporation during their years of representation and track record of winning the cases. Experience must include trial experience in any of the following: debt collection, criminal trial, corporate litigation, bankruptcy or any civil-criminal trial experience. State bar license required. 1+ year of litigation ...
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Financial Services Compliance Professionals
The candidate will join Tri-State practice. Any exposure to products such as swaps or derivatives and prior experience dealing with the regulators would be highly preferred (specifically, the NFA or CFTC). 4 years relevant experience is needed. 4-year Bachelor Degree required. For attorneys, in-house experience required and NY Bar admission preferred/ Significant, hands-on experience in regulatory compliance within the Investment...
Finance, Restructuring and Bankruptcy Associate
The candidate should have 2 to 4 years of experience. Should have significant hands-on experience in the structuring, drafting and negotiation of middle market lender's-side debt financing transactions, with strong UCC Article 9 experience essential and syndicated asset-based lending experience preferred. Must be self-motivated, confident, personable team players and have outstanding professional and academic credentials.
The candidate should have experience with private placements including term sheets, risk factors, and subscription agreements. Must have knowledge of investment adviser, broker-dealer and/or other securities and financial services regulations in the context of block chain and Initial Coin Offerings. Superior academic credentials, excellent verbal, written and interpersonal skills required.
Staff Attorney, Structured Finance/Asset Securitization
The candidate should have 1 year of transactional law experience at a law firm, bank or other finance company. Examples of specific types of desired experience include the following: Representing companies and financial institutions in financing activities; Providing advice to clients on structured transactions; Understanding of commercial and securities law issues as they relate to finance transactions . Must have st...
Financial Services Compliance Professional
The candidate should have 4+ years of relevant experience. 4-year Bachelor Degree is required. In-house experience required and NY Bar admission is preferred. Significant, hands-on experience in regulatory compliance within the Investment Advisory, Broker-Dealer and/or Hedge Fund environments are advantageous. Experience working in a large financial institution is strongly preferred. Prior experience dealing with the regulators wo...